The Financial Industry Regulatory Authority has barred Adam Ocner, a former broker with AXA Advisors, for not providing the organization with information it requested.
Finra, in a letter of acceptance, waiver and consent, said that it was investigating whether Mr. Ocner misappropriated funds from his branch office manager's fund at AXA Advisor's Baltimore office. He was employed there from May 2015 through September 2016, when his employment was terminated.
Mr. Ocner began his securities career at Merrill Lynch in 2012 and stayed two years. After his termination at AXA, he moved to UBS in January 2017, and was terminated in May. He is no longer associated with a Finra member firm.